Compliance Officer (M/F) – LGEP501864 recruitment
Description : Vous aurez notamment en charge : – la détermination des procédures à mettre en place et leur mise en Suvre ;- la production et la transmission des reportings auprès des autorités de contrôle ; – la surveillance des émissions et des rachats de parts, et de l’affectation des résultats des OPC- la surveillance du calcul de la Valeur Nette d’Inventaire des FCP- le contrôle des instructions de la société de gestion des FCP Profil recherché : – Vous justifiez d’une expérience similaire en Compliance, ainsi que d’une expérience opérationnelle ;des métiers relatifs aux fonds Read more […]
KYC Manager – top tier law firm recruitment
The successful candidate should have solid KYC and compliance experience, preferably from a law firm or professional services firm. You should have a recognized qualification in compliance, and strong international background of financial regulatory issues.This manager will be based in HK, overseeing the KYC requirements for their clients in the different regional offices. Reporting to the head of compliance, you will analyze KYC information and be involved in the training of colleagues in KYC procedures.This law firm is well regarded as the top in the industry, serving international clients from Read more […]
COMPLIANCE TESTING REVIEWER recruitment
An international banking group with a huge global footprint is looking for a dynamic candidate to work in their Compliance team that involved the establishment and execution of the risk based compliance testing performed in the country and/or at a Regional level. Reporting to the Regional Cluster Testing Head or alternatively to a Country Compliance Testing Head and/or functionally to the CCCO.Key Responsibilities:support in establishing effective and optimal test plans; identify all relevant RRIs, together with their inherent risk rating applicable to the identified compliance risks to be covered Read more […]
Compliance Manager recruitment
A well regarded financial services organization has an opening for a compliance manager to join its Hong Kong business.In the role you will provide general compliance support and in particular will advise on AML matters. You will also supervise two other members of the compliance team.To be a successful candidate, you will need 1 to 4 years of compliance experience with a focus on AML gained from a well regarded institution. You will also have a strong personality and the desire to lead a team.Excellent communication skills are highly important as this role will liaise with clients and internal Read more […]
Compliance Monitoring Manager (Milton Keynes) recruitment
Join Santander and you’ll become a vital part of a business built on the outstanding service provided to our customers, as well as the award-winning products we offer. We’re one of the fastest growing banks in the UK and that is down to our people. And we recognise that as we help you develop your career you’ll be doing the same for our business. This role will support the development, management and delivery of compliance monitoring arrangements that verify Santander UK and associated companies’ compliance with regulations.Santander UKThe Santander Group has more than 150 years’ experience in Read more […]
Head of Financial Crime Prevention – MLRO recruitment
The role will report into the UK Head of Regulatory Compliance and will cover the oversight of the bank’s financial crime prevention framework, including anti-money laundering and fraud prevention.The main functions of the role include, but are not limited to:Leading and managing the financial crime teams throughout the bankEnsuring that the Bank’s financial crime risk assessment process is regularly reviewed and updated in order to target financial crime initiatives and resources on those areas that present the greatest riskManagement oversight of the Bank’s integrated AML and fraud prevention Read more […]
Assistant Vice President Compliance Liaison Officer recruitment
An Assistant Vice President Compliance Liaison Officer is sought for the Planning Department of a leading international securities firm in the City of London.Working closely with compliance to coordinate and manage all types of compliance issues, the compliance liaison officer will be responsible for:- Customer on-boarding and periodical reviews, mainly from an AML perspective- Managing and checking necessary documentation prior to submitting for compliance sign off- Assist compliance control room in implementing various conflict of interest controls- Providing business areas input in updating Read more […]
Compliance Examiner – Membership Application Program recruitment
We Work to Protect Investors. Join our Team.MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the integrity of the U.S. financial markets. This position requires excellent analytical and communication skills, consistently high productivity levels and work quality (frequently under tight deadlines), excellent collaboration skills, and a strong commitment to ensuring that the securities industry operates fairly and honestly. Essential Read more […]
Sole Compliance Officer recruitment
The company trades gas, power and emissions and also has a gas storage business. This is an exciting chance to join a growing business with extensive expansion plans in the UK and Europe. The ideal candidate will: – Be capable of working autonomously to provide quality advice and support on all compliance matters within the business – Have worked within the energy space and/or at a regulator on compliance matters – Have at least 3 years experience working in compliance – Have a strong and consistent academic background
AML/KYC (German Speaker) recruitment
The successful candidate will work as part of the New Accounts team within Compliance and be responsible for new account openings and for ensuring that all accounts are opened in line with necessary requirementsMain duties• Open new accounts on a daily basis for external retail and corporate clients• Ensure that full security and ID checks in place in line with agreed procedures, using Worldcheck and other ID checking tools as required• Liaise with the New Accounts Manager and Senior Management regarding any account queries• Update spreadsheets for every account and provide reports Read more […]